- Neuberger Berman (New York, NY)
- … and closed-end fund structures. **Responsibilities:** + Managing all aspects of a registered fund compliance program, including: + Annual Rule 38a-1 ... Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act...Interact closely with all areas and personnel within the Legal and Compliance Department, including the global… more
- JPMorgan Chase (New York, NY)
- …will collaborate with various teams including Portfolio and Risk Management, Legal , Compliance , Product Development, Sales/Distribution, and Client Service. This ... JP Morgan Private Investments Inc. (JPMPI) is a Registered Investment Adviser (RIA) that acts as a sub-advisor to open-end and closed-end registered investment… more
- SMBC (New York, NY)
- …model. + Direct experience managing regulatory exams (particularly SEC exams). + Fund compliance experience (public and private). + Strong working knowledge ... of the Investment Company Act of 1940 and registered funds . + Working knowledge of Resolver or a similar GRC or Compliance Workflow solution strongly… more
- JPMorgan Chase (New York, NY)
- …and skills** + Attorney or compliance officer with a minimum 5 years of compliance / legal experience at a major law firm, regulator, fund or financial ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...need a strong knowledge of investment products including mutual funds , SMAs, ETFs, and hedge funds , and… more
- Wellington (New York, NY)
- …enhancements where necessary. The Compliance Officer will be a member of the Legal , Compliance & Risk Group and will report to the Head of Investment ... **QUALIFICATIONS** + 8+ years of relevant investment adviser and investment company compliance experience (interval fund and ETF compliance experience… more
- Robert Half Finance & Accounting (New York, NY)
- …years' Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm; with knowledge of international regulations such ... developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific...Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm + Knowledge… more
- Morgan Stanley (New York, NY)
- …Responsibilities >Providing primary legal support for MS, EV, & Calvert 1940 Act registered equity, fixed income and liquidity funds , private funds , and ... fund reorganizations and other business transactions for proprietary funds o Supporting sales teams in connection with third-party...make informed decisions independently as well as partner with legal and compliance colleagues and clients >… more
- Wellington (New York, NY)
- …marketing compliance program, with a particular focus on our broker-dealer, Wellington Funds Distributors (WFD). The Compliance Analyst will be a member of ... the Legal , Compliance & Risk Group and will report to the...marketing activities + Support registration process for broker dealer registered reps + Assist with Compliance testing… more
- Neuberger Berman (New York, NY)
- …Berman. This includes substantial interaction with the firm's intermediary sales, legal , compliance , fund administration, account administration, performance ... internal teams and necessitates substantial interaction with the firm's sales, legal , compliance , accounting, reporting, technology and operations teams, all… more
- Assistant Secretary for Public and Indian Housing (New York, NY)
- …needed management improvements and ultimately, development viability. Review and evaluates legal documents, in coordination with the Office of General Counsel (OGC) ... as necessary, to determine and ensure compliance with Departmental and other federal, state, and local...REV-2, for PIH funded programs, such as the Capital Fund Program. Monitoring is inclusive of the complete procurement… more
- Greenbacker Capital (New York, NY)
- …Within our IM business segment, Greenbacker Capital Management (GCM) serves as the registered investment adviser to five funds focused on green power generation ... of the Company including the Senior Leadership Team, FP&A, Accounting, HR and Legal . The role will perform a pivotal role for the external reporting function,… more